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  5. Advisors Asset Management, Inc.

Advisors Asset Management, Inc.

Company Details

Name: Advisors Asset Management, Inc.
Jurisdiction: Colorado
Legal type: Foreign profit corporation
Status: Noncompliant
Date of registration: 28 Feb 2005 (20 years ago)
Entity Number: 20051087545
ZIP code: 80132
County: El Paso County
Place of Formation: Delaware
Principal Address: 18925 Base Camp Rd Monument CO 80132 US

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2015 200532180 2016-07-18 ADVISORS ASSET MANAGEMENT, INC. 201
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Signature of
Role Plan administrator
Date 2016-07-18
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2014 200532180 2015-07-02 ADVISORS ASSET MANAGEMENT, INC. 184
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Signature of
Role Plan administrator
Date 2015-07-02
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2013 200532180 2014-07-21 ADVISORS ASSET MANAGEMENT, INC. 200
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Number of participants as of the end of the plan year
Active participants 200

Signature of
Role Plan administrator
Date 2014-07-21
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2012 200532180 2013-07-10 ADVISORS ASSET MANAGEMENT, INC. 230
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Number of participants as of the end of the plan year
Active participants 230

Signature of
Role Plan administrator
Date 2013-07-10
Name of individual signing PAULA J. POLLNER
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-07-10
Name of individual signing PAULA J. POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2011 200532180 2012-07-25 ADVISORS ASSET MANAGEMENT, INC. 252
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Number of participants as of the end of the plan year
Active participants 252

Signature of
Role Plan administrator
Date 2012-07-25
Name of individual signing PAULA J. POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. 401K PLAN 2011 200532180 2012-07-26 ADVISORS ASSET MANAGEMENT, INC. 366
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2008-01-01
Business code 523120
Sponsor’s telephone number 7194889956
Plan sponsor’s mailing address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Administrator’s telephone number 7194889956

Number of participants as of the end of the plan year
Active participants 310
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 37
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 322
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 58

Signature of
Role Plan administrator
Date 2012-07-26
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. 401K PLAN 2010 200532180 2011-10-12 ADVISORS ASSET MANAGEMENT, INC. 325
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2008-01-01
Business code 523120
Sponsor’s telephone number 7194889956
Plan sponsor’s mailing address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Administrator’s telephone number 7194889956

Number of participants as of the end of the plan year
Active participants 333
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 33
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 336
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 39

Signature of
Role Plan administrator
Date 2011-10-12
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. 401K PLAN 2010 200532180 2011-10-12 ADVISORS ASSET MANAGEMENT, INC. 325
Three-digit plan number (PN) 001
Effective date of plan 2008-01-01
Business code 523120
Sponsor’s telephone number 7194889956
Plan sponsor’s mailing address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Administrator’s telephone number 7194889956

Number of participants as of the end of the plan year
Active participants 333
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 33
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 336
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 39

Signature of
Role Plan administrator
Date 2011-10-12
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. 401K PLAN 2010 200532180 2011-10-12 ADVISORS ASSET MANAGEMENT, INC. 325
Three-digit plan number (PN) 001
Effective date of plan 2008-01-01
Business code 523120
Sponsor’s telephone number 7194889956
Plan sponsor’s mailing address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD, SUITE 203, MONUMENT, CO, 80132
Administrator’s telephone number 7194889956

Number of participants as of the end of the plan year
Active participants 333
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 33
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 336
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 39

Signature of
Role Plan administrator
Date 2011-10-12
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature
ADVISORS ASSET MANAGEMENT, INC. HRA PLAN 2010 200532180 2011-07-22 ADVISORS ASSET MANAGEMENT, INC. 240
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2008-01-01
Business code 523110
Sponsor’s telephone number 8665191179
Plan sponsor’s mailing address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Plan sponsor’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132

Plan administrator’s name and address
Administrator’s EIN 200532180
Plan administrator’s name ADVISORS ASSET MANAGEMENT, INC.
Plan administrator’s address 18925 BASE CAMP RD. #203, MONUMENT, CO, 80132
Administrator’s telephone number 8665191179

Number of participants as of the end of the plan year
Active participants 240

Signature of
Role Plan administrator
Date 2011-07-22
Name of individual signing PAULA POLLNER
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role Address
Scott Colyer Agent 18925 Base Camp Rd Monument CO 80132 US

Transaction History

Transaction ID Type Date Effective date Name Comment
20231992961 File Report 2023-09-25 2023-09-25 No data No data
20221928491 File Report 2022-09-26 2022-09-26 No data Principal address changed, Change in registered agent information
20218030500 File Report 2021-10-27 2021-10-27 No data No data
20201859805 Statement Curing Delinquency 2020-10-01 2020-10-01 No data No data
20191354252 File Report 2019-04-24 2019-04-24 No data No data
20181353629 File Report 2018-04-27 2018-04-27 No data No data
20171327401 File Report 2017-04-26 2017-04-26 No data No data
20161296206 File Report 2016-04-26 2016-04-26 No data No data
20151064606 File Report 2015-01-27 2015-01-27 No data No data
20141061901 File Report 2014-01-27 2014-01-27 No data No data

Related by officers

No related officers

Related by address

18925 Base Camp Rd Monument CO 80132 US

BASE CAMP ROAD, LLC Jeffrey Yelle DDS, PLLC

Date of last update: 13 Jan 2025

Sources: Colorado's Secretary of State

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